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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2022-06-02
  • FL RA
    APPROVED
    Since 2022-06-02

Branch Locations

132 Royal Palm Way, Palm Beach, FL 33480 • United States

22 Bull St, Savannah, GA 31401 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Abn Amro Capital Usa Llc New York NY 03/2011 08/2018
Sanford C. Bernstein & Co. Llc New York NY 08/2018 04/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated Palm Beach FL 04/2022 Present
Previous Registrations
Other Businesses

I*1500300 Entity Type: Fiduciary role Name of outside business organization: Thomas Barker Pinckney Living Trust Investment related: No Address of business: West Palm Beach, Florida, 33401 Position, title, association: Co-Trustee, Start date of relationship: 9/25/2023 Number of hours devoted: 1 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: Co-Trustee/ Self I*1521285 For profit or not for profit: Entity Charitable Name of outside business organization: Town of Palm Beach United Way Investment related: No Address of business: Palm Beach, Florida, 33480 Position, title, association: Committee, Fundraising committee Start date of relationship: 10/17/2023 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Business and Professional Committee member tasked with bringing awareness to the organization I*4151269 Entity Type: Charitable Name of OBA: Historical Society of Palm Beach County Address: West Palm Beach, Florida, 33401 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 03/30/2026 Number of Hours: 2, Monthly Number of Hours during trading: 0 Duties: To preserve and educate on the history of Palm Beach County Board Member to help with education

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-09-10
  • S66 Uniform Combined State Law Examination
    2018-09-10

View on SEC IAPD

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